SMF16 is the FCA-approved senior manager with formal accountability for overseeing the firm's compliance with FCA rules and wider regulatory obligations, including the design and effectiveness of the compliance framework and monitoring.
It exists to give the FCA a single, clearly identifiable person responsible for managing regulatory and conduct risk, advising senior leadership, and ensuring issues are investigated, remediated, and notified where required.
Latest active appointments
Mr Gidon Jonathan Said
SMF16 Compliance Oversight
Firm
Novara Wealth Ltd
Mr Ian Stuart Else
SMF16 Compliance Oversight
Firm
4 Financial Planning Ltd
Mr Mark O'Flaherty
SMF16 Compliance Oversight
Firm
Air Capital Partners Limited
Mr John Chadwick
SMF16 Compliance Oversight
Firm
Blackwood Financial Planning Limited
Mrs Rebecca Elicia Standeven
SMF16 Compliance Oversight
Firm
Dr David Smith Financial Services Ltd
Mr Christopher Richard Philcox
SMF16 Compliance Oversight
Firm
Clearly Independent Financial Planning LTD
Mr Kristopher Martin Dabner
SMF16 Compliance Oversight
Firm
KMD Financial Planning LLP
Francis Keith Jarman
SMF16 Compliance Oversight
Firm
Renaissance Financial Ltd
Mr Christopher Robert Bradley
SMF16 Compliance Oversight
Firm
My Time Pension Limited
Mr Andrew Mark Fouracres
SMF16 Compliance Oversight
Firm
Anand Rathi Wealth UK Limited
Mr Daniel Nicholas Salt
SMF16 Compliance Oversight
Firm
Apeiron Wealth Management Limited
Mr Stuart Clark MacDonald
SMF16 Compliance Oversight
Firm
RSQ WEALTH MANAGEMENT LIMITED
Stephen Martin Middleton
SMF16 Compliance Oversight
Firm
L&T Capital Investment Ltd
Mr Kyran Charles Roberts
SMF16 Compliance Oversight
Firm
Affinity Financial Management Limited
Mr Graeme James Bone
SMF16 Compliance Oversight
Firm
Pathfinder Wealth Management Ltd
Garry Mark Appleton
SMF16 Compliance Oversight
Firm
Flying Colours Investment Management Limited
Mr Michael Charles Abbott
SMF16 Compliance Oversight
Firm
Silverhall Wealth Limited
Mr Jeremy Simon Brett
SMF16 Compliance Oversight
Firm
Brett Investment Limited
Mr John Corcoran
SMF16 Compliance Oversight
Firm
Westminster Wise Ltd
Mr Simon Christopher Owen
SMF16 Compliance Oversight
Firm
Pension Pulse Ltd
Mr KARL DAVID Townsend
SMF16 Compliance Oversight
Firm
Count Finance LTD
Mr Callum Bruce Duncan
SMF16 Compliance Oversight
Firm
Alva Wealth Limited
Mr Oluyemi Stephen Obabori
SMF16 Compliance Oversight
Firm
Richmond King Limited
Mr David Mark Venn
SMF16 Compliance Oversight
Firm
Venn Wealth Management Ltd
Mr William Nikander Barkes
SMF16 Compliance Oversight
Firm
Cauvery Wealth Ltd
Mr Anthony Castle
SMF16 Compliance Oversight
Firm
Castle Wealth Limited
Mr Joseph Denis O'Shea
SMF16 Compliance Oversight
Firm
Cove Financial Planning (Leeds) Limited
Mr Germán Torres Villodre
SMF16 Compliance Oversight
Firm
Transatlantique Private Wealth (UK) Limited
Mark Butterworth
SMF16 Compliance Oversight
Firm
Nother Portfolio Services Ltd
Mr Stefano Del Federico
SMF16 Compliance Oversight
Firm
Alpha Investment Office Limited
Mr Mark Ian Horrocks
SMF16 Compliance Oversight
Firm
Intrinsic Capital London Limited
Aditya Sarin
SMF16 Compliance Oversight
Firm
InCred Global Wealth Limited
Mr Thomas Gerard Kelly
SMF16 Compliance Oversight
Firm
AEQUITAS WEALTH MANAGEMENT LIMITED
Robin James Spruell
SMF16 Compliance Oversight
Firm
Sidekick Money Ltd
Mrs Neeta Venuturupalli
SMF16 Compliance Oversight
Firm
Lighthouse Canton UK Limited
Rahul Sen
SMF16 Compliance Oversight
Firm
Beryllus Capital (UK) Limited
Mr Neil Edward Woods
SMF16 Compliance Oversight
Firm
Brookway Financial Ltd
Natalie Hannah Howman
SMF16 Compliance Oversight
Firm
Dowgate Wealth Limited
Mr Ian Robert Cooke
SMF16 Compliance Oversight
Firm
Perpetual Wealth Solutions Limited
Philip Neil Burbidge
SMF16 Compliance Oversight
Firm
Oakglen Wealth Limited
Mr Amir William Anbouche
SMF16 Compliance Oversight
Firm
Artless Wealth Ltd
Mrs Sarah Carlin
SMF16 Compliance Oversight
Firm
Two10 Investment Services Limited
Mr Roberto Viano
SMF16 Compliance Oversight
Firm
Klay Capital Limited
Doctor Alexander Putzer
SMF16 Compliance Oversight
Firm
LGT Bank AG
Rosabel Paterson-Park
SMF16 Compliance Oversight
Firm
KX ASSET MANAGEMENT LTD
Mr Lee Michael Clayton
SMF16 Compliance Oversight
Firm
CHN Investment Management Ltd
Mr James Edward Robinson
SMF16 Compliance Oversight
Firm
TPT Investment Management Limited
Mr Periklis Filippou
SMF16 Compliance Oversight
Firm
Veritycorp Ltd
Mrs Carolyn Louise Matravers
SMF16 Compliance Oversight
Firm
Bluebell Financial Management Limited
Miss Katrina Marie Duffy
SMF16 Compliance Oversight
Firm
Joh. Berenberg, Gossler & Co. KG
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